Public Alert: Unregistered Soliciting Entities

The United States Securities and Exchange Commission (SEC) has issued the following public alert "Unregistered Soliciting Entities." This alert is timely and should be reviewed by all individuals that look at this site. Please note that this information is being provided for educational purposes only and any questions that you have about this post should be directed to the SEC or qualified legal counsel.

Over the years, we have been contacted by numerous foreign investors that have lost substantial sums of money by investing through or with alleged U.S. companies. The most frustrating situations that we are contacted about are those that we can't help with because the perpetrators can't be located or have hidden or spent all of their ill- gotten gains. We applaud the SEC for providing the below information. This alert is being quoted verbatim as issued by the commission.

As of June 6, 2011:

List of Unregistered Soliciting Entities That Have Been the Subject of Investor Complaints:

The SEC receives complaints from investors and others, including foreign securities regulators, about securities solicitations made by entities that claim to be registered, licensed and/or located in the United States in their solicitation of non-US investors, and entities not registered in the United States that are soliciting US investors. In some cases, the complaints are about entities claiming to offer investments endorsed by governmental agencies, including the SEC. These claims are important because when an entity claims to be registered with the SEC, it is in effect claiming that it has made itself available for SEC regulation and oversight. Generally, US entities that solicit you to purchase or sell securities for your own account are required to register with the SEC. For this reason, it is important for you to consider whether the entity that solicits you is, in fact, registered with the SEC.

The SEC has looked into these complaints and has learned that in many cases, the soliciting entities are not registered in the United States as they claim or imply. In an effort to warn the public about these entities, the SEC is publishing information it has learned in reviewing these complaints

For each of the entities named below, our staff has determined either (1) that there is no US registered securities firm with this name, or (2) that there is a US registered securities firm with the same (or a similar) name but that solicitations appear to have been made by persons who are not affiliated with the US registered securities firm.

In addition, the "Comments" section for each entity provides additional relevant information we have learned, by answering the following questions:

Is the entity registered in the United States?

Is the entity using a name that is the same as, or similar to, the name of a US registered securities firm notwithstanding the fact that the soliciting persons are
not affiliated with a US registered securities firm?
FINRA (formerly, the "NASD") maintains a public registry of its broker-dealer members and their sales personnel. Using this website, you can verify both the registration and address of any FINRA-registered US broker-dealer and any individual US securities broker. Checking PAUSE is not a substitute for checking the public registry. Here is the link to that registry:
http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/index.htm

Does the entity claim an endorsement, approval or other support by a governmental agency or international organization that does not exist or does not really lend support to the entity or the investments it is offering? For a list of fictitious governmental agencies and international organizations that are referenced in investor complaints,
[click here]. As reflected in the SEC's investor alert entitled, "Fake Seals and Phony Numbers: How Fraudsters Try to Look Legit," the SEC does not "approve" or "endorse" any particular securities, issuers, products, services, professional credentials, firms, or individuals, and does not allow private entities to use its government seal. Here is the link to the SEC investor alert:
http://www.sec.gov/investor/pubs/fakeseals.htm.

The SEC will regularly update this list.

You should be aware that this list does not include all unregistered entities or entities that have been the subject of complaints received by the SEC. Also, you should understand that the inclusion of a name on this list does not mean that the SEC has concluded that a violation of the US securities laws has occurred or that the SEC has made any judgment about the merits of the securities being offered by these entities.

To see the official SEC release describing and providing more details about this list,
[click here]. If you have information, questions or comments about the entities on this list, please contact
[email protected] or call 202-551-6551 begin_of_the_skype_highlighting 202-551-6551 end_of_the_skype_highlighting.

Accrescent Holdings Inc. is an impersonator of a genuine entity with the same name. The impersonator has NO connection with, and is not to be confused with, the genuine Accrescent Holdings Inc., a Regulation D exempt filer (SEC file no.
021-56258, received 06-18-03). The SEC's
EDGAR database contains registration information for the genuine entity.

American Financial Group, Inc. is impersonating a formerly registered broker-dealer with the same name - American Financial Group, Inc. (CRD Number: 10496; SEC Number: 8-26536). The genuine American Financial Group, Inc. had its registration with the Financial Industry Regulatory Authority (FINRA) cancelled, effective October 21, 1987, and is defunct.

Apex Stock Transfer Inc. is impersonating a former genuine entity having the same name (CIK Number:
0001398353; SEC Number:
084-06250). The legitimate Apex Stock Transfer Inc. filed a Form TA-W to have its registration with the SEC withdrawn, effective November 5, 2010, and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

An onsite inspection conducted on May 1, 2007 by the State of Arizona Corporation Commission found that the address given for this entity does not exist.

Claims to be endorsed by, or makes other reference in its solicitations to, the
International Compliance Assistance Center, an alleged claim-filing and fund recovery service provider for commercial and securities class-action settlements. This entity is believed to be fictitious.

Best Investors Group, Inc. is impersonating a formerly registered broker-dealer with the same name and address - Best Investors Group, Inc. (CRD Number: 19883; SEC Number: 8-37891). The genuine Best Investors Group, Inc. filed a Form BDW to have its registration with the SEC withdrawn, effective May 28, 1998, and is defunct.

The impersonator claims recognition from the "United States Registration Office." This is a fictitious entity.

There is a U.S.-registered company named Capital One Financial Corporation ("Capital One") with U.S.-registered broker-dealer affiliates named Capital One Securities, LLC ("COSL") d/b/a Capital One Investment, LLC, Capital One Southcoast, Inc. ("COSCI"), and Capital One Investment Services LLC, f/k/a NFB Investment Services Corporation (collectively, the "Capital One Brokers"). The staff's review of complaints indicates that persons not affiliated with Capital One or the Capital One Brokers have been using the name Capital One Management, Inc. ("COMI") in solicitations of investors. In particular, complaints to us have stated that persons using the phone number (1-212-330-9008 begin_of_the_skype_highlighting 1-212-330-9008 end_of_the_skype_highlighting) and/or the website address (www.caponemgt.com) and/or the business address 415 Congress Street, Suite 102, Portland, ME 04101 have either claimed to be affiliated with Capital One or the Capital One Brokers, or implied such affiliation by the use of the COMI name in investor solicitations; however, neither this phone number, website nor address are used by Capital One or the Capital One Brokers. To verify the registration and address of a U.S. securities broker, see http://www.finra.org/
InvestorInformation/
InvestorProtection/
ChecktheBackgroundof
YourInvestmentProfessional/
index.htm

As part of its solicitations, COMI makes claims that a third party is entitled to FDIC payments for "non profitable securities." The Federal Deposit Insurance Corporation has confirmed to us that no such program exists and that these purported obligations are fictitious.

Claims to be endorsed by, or makes other reference in its solicitations to, the
Securities Compliance Agency, an alleged claim-filing and fund recovery service provider for commercial and securities class-action settlements. This entity is believed to be fictitious.

Colonial Square Acquisition LLC is an impersonator of a genuine entity with the same name. The genuine Colonial Square Acquisition LLC has an actual street address of 300 Jordan Road, Troy, NY 12180.

The impersonator has NO connection with, and is not to be confused with, the genuine Colonial Square Acquisition, LLC, a Regulation D exempt filer (SEC file no. 021-110944, received 11-05-07). The SEC's EDGAR database (http://www.sec.gov/edgar.shtml) contains registration information for the genuine entity.

David W. Jones, Attorney at Law is impersonating a genuine attorney and senior counsel with the same name at Thompson & Knight LLP located at 333 Clay Street, Suite 3300, Houston, TX 77002. The impersonator has NO connection with, and is not to be confused with, the genuine David W. Jones.

There existed a formerly registered broker-dealer with the same name - Financial Asset Management, Inc. (CRD Number: 18514; SEC Number:
8-36802). The genuine Financial Asset Management, Inc. had its registration with the SEC terminated, effective February 4, 2003, and is defunct.

There exists a genuine SEC-registered investment adviser with a similar name but different address in New York City - Financial Asset Management Corp. (CRD Number: 106643; SEC Number: 801-27858). The former but defunct broker-dealer firm and the genuine investment adviser firm have NO connection with, and are not to be confused with, the soliciting entity Financial Asset Management, Inc.

First National Stock Transfer Inc. is impersonating a former genuine entity having the same name (CIK Number:
0001375291; SEC Number:
084-06191). The legitimate First National Stock Transfer Inc. initially and last filed with the SEC on September 7, 2006 and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

Claims to work with, or makes other reference in its solicitations to,
Cameron Poe & Associates Inc., a purported financial advisory services firm.

Fund Investors, Inc., White Plains, NY is impersonating a genuine entity with the same name located in Johnstown, PA.

The impersonator has NO connection with, and is not to be confused with, the genuine entity Fund Investors, Inc. (CRD Number: 20374; SEC Number:
8-38186), which has the following mailing address: 636 Scalp Avenue, Johnstown, PA 15904. The SEC's
EDGAR database contains registration information for the genuine entity.

Global Quest Emerging Fund LP is impersonating a genuine entity with a similar name at the same address - Global Quest Emerging Fund II LP, a Regulation D exempt filer (SEC file no. 021-104914, received 06-18-07). The impersonator has NO connection with, and is not to be confused with, the genuine Global Quest Emerging Fund II LP, which has the following internet address
www.globalquestinvestments.com. The SEC's EDGAR database (
http://www.sec.gov/edgar.shtml) contains registration information for the genuine entity.

The impersonator claims recognition from the "United States Registration Office." This is a fictitious entity.

Greentree Financial Advisors is impersonating a genuine state-registered investment adviser firm with the same name registered in New York State - Greentree Financial Advisors, Inc. (CRD Number: 127088). The impersonator has NO connection with, and is not to be confused with, the genuine Greentree Financial Advisors, Inc.
WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

Greystone Asset Management is impersonating a genuine state-registered investment adviser firm with a similar name registered in New York State - Greystone Asset Management, LLC (CRD Number: 139802), which has the following mailing address: 780 Third Avenue, 43RD Floor, New York, NY 10017-2024. The impersonator has NO connection with, and is not to be confused with, the genuine Greystone Asset Management, LLC.
WebIARD (Investment Adviser Registration Depository [operated by the Financial Industry Regulatory Authority (FINRA) on behalf of the SEC and the North American Securities Administrators Association (NASAA)]) contains registration information for the genuine entity.

GS Global Asset Management LLC is impersonating a formerly registered broker-dealer with a similar name but different address - GS Global Asset Management, L.L.C. (CRD Number: 44243; SEC Number: 8-50587). The genuine GS Global Asset Management L.L.C., which was located at 212 West 22nd Street, Suite 4F, New York, NY 10011, had its registration with the SEC cancelled on December 15, 1999 and is defunct.

Harbor Light Securities Inc. is impersonating a genuine broker-dealer firm with a similar name and different street address - Harbor Light Securities, LLC (CRD Number: 130227; SEC Number:
8-66315). The genuine Harbor Light Securities, LLC is located at 1039 Deep Woods Drive. The impersonator has NO connection with, and is not to be confused with, the genuine Harbor Light Securities, LLC. The SEC's
EDGAR database contains registration information for the genuine entity.

Kensington Advisory & Investment Group is impersonating a formerly registered broker-dealer firm named Kensington Advisory and Investment Group LLC (CRD Number: 47739; SEC Number: 8-51888). The genuine Kensington Advisory and Investment Group LLC had its registration with the SEC terminated on February 18, 2003 and is defunct.

Macallaster Pitfield Mackay Inc. is impersonating a genuine broker-dealer firm with the same name - Macallaster Pitfield Mackay Inc. (CRD Number: 3046; SEC Number:
8-02978), which has the following mailing address: 30 Broad St., New York, NY 10004. The impersonator has NO connection with, and is not to be confused with, the genuine Macallaster Pitfield Mackay Inc. The SEC's
EDGAR database contains registration information for the genuine entity.

Manhattan Acquisition Corp. is impersonating a genuine entity with the same name. The impersonator has NO connection with, and is not to be confused with, the genuine Manhattan Acquisition Corp., a Schedule 13D ("beneficial ownership report") filer (CIK Number:
0001128718) and Delaware corporation formed by BRS L.P. for the sole purpose of effecting the proposed transactions of merging with and into a single other company, as described in its filing of November 27, 2000 and amended filing of January 18, 2001. The SEC's
EDGAR database contains information for the genuine entity.

Metcap Securities is impersonating a genuine broker-dealer firm with a similar name - Metcap Securities, LLC (CRD Number: 30418; SEC Number:
8-45147), which has the following mailing address: 405 Lexington Ave., 39th Floor, New York, NY 10174. The impersonator has NO connection with, and is not to be confused with, the genuine Metcap Securities, LLC. The SEC's
EDGAR database contains registration information for the genuine entity.

MIT Associates Incorporated, Seattle, WA is impersonating a genuine broker-dealer firm with a similar former name located in Stamford, CT.

The impersonator has NO connection with, and is not to be confused with, the genuine entity MIT Associates, LLC d/b/a Liability Solutions (CRD Number: 121171; SEC Number:
8-65386), which has the following mailing address: One Landmark Square, Suite 620, Stamford, CT 06901. The SEC's
EDGAR database contains registration information for the genuine entity.

NBI Energy is impersonating a genuine entity with a similar name at the same address - NBI Energy Fund LP, a Regulation D exempt filer (SEC file no.
021-89655, received 05-04-06). The impersonator has NO connection with, and is not to be confused with, the genuine NBI Energy Fund LP. The SEC's
EDGAR database contains registration information for the genuine entity.

Paragon Capital Group, Inc is impersonating a genuine entity with a similar name - Paragon Capital Partners, LLC (CRD Number: 132877; SEC Number:
8-66649). The impersonator is using the same street address and floor number of the genuine firm but a fake suite number that does not exist. The SEC's
EDGAR database contains registration information for the genuine entity.

The impersonator also has NO connection with, and is not to be confused with, the genuine broker-dealer firm, Paragon Capital Management Corp. (CRD Number: 107486; SEC Number: 801-41741), which has the following mailing and internet addresses: 10 Edgewood Avenue, Smithtown, NY 11787, www.paragoncapitalonline.com. The SEC's
EDGAR database contains registration information for the genuine entity.

The impersonator claims to be commissioned by the "Federal Depository Commission." This is a fictitious entity.

Pointe Atlantic is impersonating a formerly registered broker-dealer firm with the same name - Pointe Atlantic, Inc. (CRD Number: 46599; SEC Number: 8-51486). The genuine Pointe Atlantic, Inc. last filed with FINRA on July 22, 1999 and is defunct.

The impersonator is also soliciting under the name Schnell and Company using the clone website schnellcompany.com.

1Progress Investments LLC is impersonating a genuine broker-dealer firm with the same name - Progress Investments LLC (CRD Number: 139981; SEC Number:
8-67273), which has the following mailing address: 701 Brickell Avenue, Suite 2550, Miami, FL 33131. The impersonator has NO connection with, and is not to be confused with, the genuine Progress Investments LLC. The SEC's
EDGAR database contains registration information for the genuine entity.

Rothman Securities is impersonating a genuine broker-dealer firm with a similar name - Rothman Securities, Inc. (CRD Number: 13907; SEC Number:
8-30469), which has the following mailing address: 111 Street Road, Suite 201, Southampton, PA 18966. The impersonator has NO connection with, and is not to be confused with, the genuine Rothman Securities, Inc. The SEC's
EDGAR database contains registration information for the genuine entity

Seale Capital Inc. is impersonating a genuine broker-dealer firm with the same name - Seale Capital, Inc. (CRD Number: 148420; SEC Number: 8-68022), which has the following mailing address: 950 N. Glebe Road, Suite 950, Arlington, VA 22203. The impersonator has NO connection with, and is not to be confused with, the genuine Seale Capital, Inc. The SEC's
EDGAR database contains registration information for the genuine entity.

Select American Transfer Co. is impersonating a former genuine entity having the same name (CIK Number: 0001324472; SEC Number: 084-06152). The legitimate Select American Transfer Co. last filed with the SEC on September 5, 2006 and is defunct.

Claims to work, or makes other reference in its solicitations to,
Madden Group, Inc., a purported financial advisory services firm.

Seward, Groves, Richard and Wells is impersonating a formerly registered broker-dealer with the same name - Seward, Groves, Richard & Wells, Inc. (CRD Number: 17963; SEC Number:
8-35871). The genuine Seward, Groves, Richard & Wells, Inc. had its registration with the SEC cancelled, effective August 27, 2010, and is defunct. The impersonator has NO connection with, and is not to be confused with, the former genuine entity.

Swiftsure Securities Limited is impersonating a genuine broker-dealer firm with a similar name - Swiftsure Securities LLC (CRD Number: 139965; SEC Number:
8-67264), which has the following mailing address: 1201 Third Avenue, Suite 1601, Seattle, WA 98101. The impersonator has NO connection with, and is not to be confused with, the genuine Swiftsure Securities LLC. The SEC's
EDGAR database contains registration information for the genuine entity.

Claims to be endorsed by, or makes other reference in its solicitations to, the
Regulatory Advisory Commission, an alleged claim-filing and fund recovery service provider for commercial and securities class-action settlements. This entity is believed to be fictitious.

The U.S. Financial Management Service, a bureau of the United States Department of the Treasury, located at the address given by the soliciting entity, has confirmed to us that it has no affiliation with the soliciting entity.

Claims to be endorsed by, or makes other reference in its solicitations to, the
Securities Compliance Agency, an alleged claim-filing and fund recovery service for commercial and securities class-action settlements. This entity is believed to be fictitious.

Watson Sandy Holding Co. is an impersonator of a genuine entity with the same name. The impersonator has NO connection with, and is not to be confused with, the genuine Watson Sandy Holding Co., a Regulation D exempt filer (SEC file no.
021-62564, received 01-29-04), which has the following mailing address: PO Box 446, Townsend DE 19734. The SEC's
EDGAR database contains registration information for the genuine entity.

Claims to be endorsed by, or makes other reference in its solicitations to,
International Stock Regulators, an alleged claim-filing and fund recovery service for commercial and securities class-action settlements. This entity is believed to be fictitious.

Claims to work with, or makes other reference in its solicitations to,
Global Re-Insurance Services, a purported provider of wholesale insurance products and services. The website offers no address details for this entity.

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